Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Robinhood CFO Says States Seek to Copy Trump Accounts
By Victor SwezeyShiv Verma said states have approached the company about partnering on their own investment vehicles for newborns.
May 27, 2026
Raymond James Exec Aims to Boost Indie Rep Assets, ServiceKirk Bell, the independent contractor division's new president, seeks to bolster the standard of care for its advisors.
May 27, 2026
Robinhood Launches AI Stock Trading, Purchases on Credit CardsClients will soon be able to establish agentic trading accounts that are entirely separate from their standard portfolios.
May 22, 2026
$3B Wells Fargo Team Launches RIA Gryphon WealthThe Florida-based firm works with TradePMR, led by Robb Baldwin, and will use the BD's Fusion platform.
May 21, 2026
Reg BI and New Product Best Practices: What BDs Should KnowTed Luecke, examination director at FINRA, offers tips on how BDs can stay compliant while bringing on new products.
May 20, 2026
Citi Discloses Over 300 New York Layoffs, Part of Ongoing Job CutsThe banking giant has been moving to eliminate 20,000 positions over two years.
May 20, 2026
Black Edward Jones Advisors Are Set Up to Fail, Class-Action Suit AllegesWhite financial advisors receive better asset transfers and compensation, according to a suit by six former advisors.
May 19, 2026
BD Fined $100K Over Deferred VA ExchangesWorld Investments failed to supervise recommendations of annuity switches, FINRA finds.